Our Analyst of Marketing Regulatory Review will review and approve marketing materials, as well as review correspondence and other public communications from Financial Advisors and home office employees.
Essential Functions :
In consultative manner, analyze financial advisor marketing materials and provide approval or instructions to change the material in order to provide approval. Research and address instances where firm’s policies regarding communications with the public are not being followed.
Analyze financial advisor correspondence and address any regulatory concerns that may be discovered as a result of the analysis
Assist with research and response to regulatory inquiries including branch exams regarding communications with the public.
Contribute to department projects that may include policy updates, training, and presentations to teams
Other Job Duties :
Facilitate Education of Communications with the Public to advisors, financial institutions, and home office employees.
Serve as point person regarding policies for communication with the public for home office staff.
Respond to advisor and home office staff questions through email and phone calls
Bachelor's degree preferred
Minimum of 2+ years of relevant experience
The Series 7 and Series 24 are required, other licenses are a plus
Strong working knowledge of Excel, Word, and Access
Must have excellent customer service skills and be able to communicate effectively
Candidates should be focused on results, seek out responsibility, be able to effectively team with others, and be able respond promptly and calmly to changes
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE
Go back to the welcome page
Need further assistance?
Applicant Tracking Software
LPL Financial Services - 2 years ago